Marcus A. Ramos
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marcus Anthony Ramos was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 1994. Marcus had worked at 5 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 1999 - September 23, 1999
GUNNALLEN FINANCIAL, INC
August 27, 1998 - October 19, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
January 5, 1996 - June 29, 1998
FOSTER JEFFRIES SECURITIES, LLC
July 8, 1995 - January 17, 1996
MATRIX SECURITIES CORPORATION
September 28, 1994 - March 17, 1995
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 9/27/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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